Regulators
| Country | Regulatory Agency | Institutions Regulated |
|---|---|---|
| US | Federal Reserve Board (FRB) | Bank holding companies, financial holding companies, securities holding companies, thrive (savings and loan holding companies).State banks that are members of the Federal Reserve System, foreign banking organisations operating in the US and any firm / payment system designated as systemically significant by the Financial Stability Oversight Council |
| Office of the Comptroller of the Currency (OCC) | Primary regulator of national banks, US federal branches of foreign banks and federally chartered thrift institutions | |
| Federal Deposit Insurance Company (FDIC) | Federally insured depository institutions.Primary regulator of state banks that are not members of the Federal Reserve System and state-chartered thrift institutions | |
| Securities and Exchange Commission (SEC) | Securities exchanges, broker-dealers, clearing and settlement agencies, investment funds, including mutual funds, investment advisors including hedge funds with assets over $150m and investment companiesNationally recognized statistical rating organizationsSecurity-based swap (SBS) dealers, major SBS participants and SBS execution facilities | |
| Commodity Futures Trading Commission (CFTC) | Futures exchanges, futures commission merchants, commodity pool operators, commodity trading advisors, derivatives clearing organizations and designated contract markets.Swap dealers, major swap participants, swap execution facilities and swap data repositories. | |
| UK | Prudential Regulation Authority (PRA) | Banks Building societies Insurers PRA-designated investment firms Credit unions Parent financial holding companies |
| Financial Conduct Authority (FCA) | Wholesale markets (including funds, credit rating agencies, trade repositories, data reporting service providers) Credit and mortgage brokers (including primary credit brokers, motor dealers, mortgage brokers) Lenders and other consumer finance (including home finance providers, debt firms, claims management companies, credit reference agencies) Payments, e-money and crypto Consumer investment firms (including financial advisors, wealth and stockbroking firms, investment platforms, crowdfunders) General insurance intermediaries, funeral plan providers, credit unions | |
| Europe | European Central Bank (ECB) | Significant banks in terms of supervision. |
| France | Autorité de Contrôle Prudentiel et de Résolution (ACPR) | Banking and insurance sectors |
| Autorité des Marchés Financiers (AMF) | Financial markets,market infrastructuresInvestment Services Providers - | |
| Germany | Deutsche Bundesbank (DB) | Assists BaFin and monitors adequacy of capital and risk management. |
| Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) | Credit institutions, investment firms, financial services institutions | |
| Switzerland | Swiss Financial Market Authority (FINMA) | Banks, insurance companies, trading venues and facilities, securities dealers, collective investment schemes, fund management companies, asset managers, trustees |
| Hong Kong | Securities and Futures Commission (SFC) | Securities and futures markets, intermediaries such as brokers, investment advisors and fund managers. |
| Hong Kong Monetary Authority (HKMA) | Banks and deposit taking institutions | |
| Insurance Authority (IA) | Insurance companies and insurance intermediaries | |
| Japan | Financial Services Agency of Japan (JFSA) | Banks, trust banks, trust companies, funds, insurers, securities firms, investment advisors, asset managers and funds. |
| Singapore | Monetary Authority of Singapore (MAS) | Banks, insurers, capital market intermediaries, financial advisors and market operators. |
| Australia | Australian Prudential Regulation Authority (APRA) | Authorised deposit taking institutions, general insurance companies and superannuation funds for prudential regulation only |
| Australian Securities and Investment Commission (ASIC) | Corporations, financial markets, financial services organizations and financial professionals.Consumer credit regulator and provider of licenses for banks, credit unions, finance companies and mortgage brokers |